Sean M Lutes

Employer firm

Cambridge Investment Research Advisors, Inc. CRD 134139

$139B regulatory AUM 68,815 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Market timing

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2016 → 12/2020
  Ameriprise Financial Services, Inc.
  Louisville, KY
• 01/2021 → Present
  Cambridge Investment Research, Inc
  Fairfield, IA
• 01/2021 → Present
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA

Previous Registrations

• 2018-01-24 → 2021-01-07
  Ameriprise Financial Services, Llc
  Louisville, KY

Other Businesses

1) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING 01/04/21 2) HYLAND INSURANCE, 9750 ORMSBY STATION RD, LOUISVILLE, KY, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, 01/04/21, NIR, 10 HR/MO- 10/TRADING HR 3) HYLAND FINANCIAL, 9750 Ormsby Station Road, Suite 200, Louisville KY 40223, 01/2021, Investment Advisor Representative, Using a Trade Name/dba, INV REL, 160 HR/MO - 120 HR/MO TRADING. 4) MJH MANAGEMENT LLC., 9750 Ormsby Station Road, Suite 200, Louisville KY 40223, 01/2021, W2 Employee, INV REL, 160 HR/MO - 120 HR/MO TRADING. 5) SML VENTURES LLC, 9750 Ormsby Station Road, Suite 200, Louisville KY 40223, United States, 01/27/2025, President, Owner/Partner of a Business Entity, NIR, 10 HR/MO - 5 HR/MO TRADING.

Exams

• S66 Uniform Combined State Law Examination
  2017-07-31